News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

Flash Reports
03 Sep, 2026

2026 Fall Filing Preview

Fall filing season is here — and between Form PF, 13F, 13G, and three federal holidays, Q4 can get crowded. Here's your at-a-glance guide to what's due and when, so nothing catches your team off guard.

Flash Reports
20 Dec, 2019

Kansas Adviser Ordered to Pay Over $8.5M After Breaching Fiduciary Duty

On Dec. 10, 2019, the Securities and Exchange Commission released information that an adviser, Kornitzer Capital Management, Inc. (KCM), and its principal, John Kornitzer, were charged with breaching their fiduciary duty to clients and failing to implement proper policies and procedures.

OCIE Releases List of Common Investment Company, Money Market Fund, and Target Date Fund Compliance Issues

OCIE released a Risk Alert outlining common compliance observations among investment companies, money market funds, and target date funds. The alert outlines general weaknesses and deficiencies that OCIE staff noticed during recent examinations.

Flash Reports
05 Nov, 2019

SEC Proposes Changes to Advertising and Solicitation Rules

On Nov. 4, 2019, the Securities and Exchange Commission released proposed amendments intended to modernize the advertising and solicitation rules under the Investment Advisers Act.

SEC Adopts Rule Modernizing ETF Regulations

The SEC voted to adopt Rule 6c-11. The goal of the rule is to create a clear process to establish and operate exchange traded funds (ETFs) and to facilitate competition in this market.

Pair of Advisers Fined for Failing to Disclose Interest in Publicly Traded Company

The SEC released information that a registered investment adviser, Strategic Planning Group, and its principals, David Rourke and Jarrod Sherman, were charged for failing to disclose conflicts of interest to clients and on Form ADV.

Flash Reports
01 Oct, 2019

Company Charged with Violating Regulation ATS After Releasing Confidential Information

The SEC released information that TMC Bonds LLC, operator of an alternative trading system (ATS), will pay $2.1 million after being charged for failing to protect confidential information in violation of Regulation ATS.

Flash Reports
17 Sep, 2019

OCIE Releases List of Common Principal and Agency Cross Trading Compliance Issues

The OCIE issued a Risk Alert regarding common principal and agency cross trading compliance concerns.

Flash Reports
04 Sep, 2019

New SEC Guidance on Proxy Voting Process: What You Should Know

The SEC released guidance on the proxy voting process. The guidance outlines considerations advisers should make when choosing to begin or continue working with a proxy advisory firm.

Flash Reports
22 Aug, 2019

Alleged Cryptocurrency Scam Serves as Reminder of Digital Assets Risks

The SEC issued a press release regarding charges against Reginald “Reggie” Middleton and his two companies. The complaint, alleges that Middleton and his companies knowingly defrauded customers through the trade of a cryptocurrency called VERI tokens.

Flash Reports
15 Aug, 2019

Enabling Firms to Present Pooled Fund Specific Performance

With the 2020 edition of the GIPS®, firms are now able to present pooled fund specific performance. The changes pertaining to pooled funds were made to better accommodate the marketing of pooled funds.